CME fines Mercantile Exchange of Vietnam Corporation
MXVC failed to provide compliance training to its employees to ensure their conduct was consistent with Exchange Rules.
MXVC failed to provide compliance training to its employees to ensure their conduct was consistent with Exchange Rules.
BlackRock exceeded the all months combined position limit for Soybean Meal by 419 contracts, or 6.45%, on November 12, 2019.
The NYMEX Business Conduct Committee found that Alex Chaia prearranged the execution of transactions in various options on Crude Oil futures.
Under an offer of settlement, Tradition Securities & Derivatives LLC neither admitted nor denied the CME Rule violations.
William Kerstein, while acting as a local in the S&P futures pit, prearranged and noncompetitively executed trades opposite other local traders.
CME Group has imposed a fine of $50,000 on Kevin Howard for violating NYMEX rules regarding disruptive practices.
CME orders Christopher McGrath to pay a $85,000 fine and to have his access to all CME Group trading floors suspended for 55 days.
Phillip Capital Inc gets a fine for inaccurately reported its large trader positions in CME, CBT, NYMEX, and COMEX contracts.
Tullett Prebon Energy (Singapore) has agreed to pay a $50,000 fine for violating NYMEX rules.